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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-15
AL RA APPROVED 2017-03-25
  • TX RA
    APPROVED
    Since 2024-10-15
  • AL RA
    APPROVED
    Since 2017-03-25

Branch Locations

500 N Alston St, Foley, AL 36535 • United States

Orange Beach, AL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc Birmingham AL 01/2016 03/2017
Massachusetts Mutual Life Insurance Company Tuscaloosa AL 07/2016 Present
Mml Investors Services, Llc Tuscaloosa AL 03/2017 Present
  • 01/2016 → 03/2017
    Metlife Securities Inc
    Birmingham, AL
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Tuscaloosa, AL
  • 03/2017 → Present
    Tuscaloosa, AL
Previous Registrations
  • 2016-01-25 → 2017-03-25
    Msi Financial Services, Inc.
    Tuscaloosa, AL
    Birmingham, AL
  • 2010-06-28 → 2016-01-04
    Tuscaloosa, AL
    Birmingham, AL
    Birmingham, AL
Other Businesses

1.) Name: Crimson Capitol Group Inv rel: Y or N Add: 1470 Northbank Pkwy, Ste 275, Tuscaloosa, AL 35406 Nature: NONMMLIA Insurance Brokerage Position: Agent Start date: 02/15/2018 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: P&C, IRAs, Aircraft Insurance 2.) Owner, Crimson Capital Group - 1470 Northbank Pkwy, Ste 275, Tuscaloosa, AL 35406 - 40 sec hrs 2 non sec hrs per week since 01/2016 3.) Owner of Rental Real Estate - through LaFerrera Rentals, LLC - from Tuscaloosa, AL-1hrs sec, 0hrs nonsec-since 01/2016 4.) Independent Insurance Agent - Progressive - Property & Casualty from residential address - 5 security hours and 0 non security hours - since 03/2009 5.) Independent Insurance Agent - Travelers - Property & Casualty from residential address - 5 security hours and 0 non security hours - since 03/2009 6.) Independent Insurance Agent - Safeco - Property & Casualty from residential address - 2 security hours and 0 non security hours - since 03/2009 7.) Independent Insurance Agent-Metlife auto and home-property and casualty-from business address-10hrs sec, 2hrs nonsec-since 01/2016 8.) Independent Insurance Agent - Hartford - Property and Casualty - from business address - 2 security hours and 0 non security hours - since 03/2009 9.) Independent Insurance Agent - Southern Select- Property and Casualty - from business address -1 security hours and 0 non security hours - since 02/2016 10.) Independent Insurance Agent - Centauri- Property and Casualty - from business address -5 security hours and 0 non security hours - since 07/2016 11.) NAME: BRETT LAFERRERA INV REL: Y ADDR: RESIDENTIAL ADDRESS NATURE: DENNIS A DAHL AND CAROLYN DAHL TRUST POSITION: CO-TRUSTEE START DATE: 4/4/2025 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 TRUSTEE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-25
S65 Uniform Investment Adviser Law Examination 1995-01-06
S63 Uniform Securities Agent State Law Examination 1994-07-08
  • S66 Uniform Combined State Law Examination
    2010-06-25
  • S65 Uniform Investment Adviser Law Examination
    1995-01-06
  • S63 Uniform Securities Agent State Law Examination
    1994-07-08

View on SEC IAPD

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